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United States Government Accountability Office:
GAO:
Testimony:
Before the Subcommittee on Aviation, Committee on Transportation and
Infrastructure, House of Representatives:
For Release on Delivery:
Expected at 10:00 a.m. EST:
Thursday, November 29, 2012:
Air Passenger Screening:
Transportation Security Administration Needs to Improve Complaint
Processes:
Statement of Stephen M. Lord, Director:
Homeland Security and Justice Issues:
GAO-13-186T:
United States Government Accountability Office:
Washington, DC 20548:
Chairman Petri, Ranking Member Costello, and Members of the
Subcommittee:
I am pleased to be here to discuss the findings of our November 2012
report assessing the Transportation Security Administration's (TSA)
efforts to improve the air passenger screening complaints processes.
[Footnote 1] TSA screens or oversees the screening of more than 650
million air passengers per year at 752 security checkpoints in more
than 440 commercial airports nationwide, and must attempt to balance
its aviation security mission with competing goals of efficiency and
respecting the privacy of the traveling public. The agency relies upon
multiple layers of security to deter, detect, and disrupt persons
posing a potential risk to aviation security. These layers focus on
screening millions of passengers and pieces of carry-on and checked
baggage, as well as tons of air cargo, on a daily basis.
Given TSA's daily interaction with members of the traveling public,
air passenger screening complaints reflect a wide range of concerns
about, for example, the systems, procedures, and staff that TSA has
used for screening air passengers at security checkpoints. This
includes concerns related to the use of Advanced Imaging Technology
and enhanced pat-down procedures.[Footnote 2] TSA has processes for
addressing complaints about air passengers' screening experience at
security checkpoints, but concerns have been raised about these
processes. Also, TSA is implementing a Pre[check]™ program to expedite
screening at security checkpoints.
My statement today is primarily based on our November 2012 report and,
like the report, discusses the extent to which TSA has (1) policies
and processes to guide the receipt of air passenger screening
complaints, and uses this information to monitor or enhance screening
operations, (2) a consistent process for informing passengers about
how to make complaints, and (3) complaint resolution processes that
conform to independence standards to help ensure that these processes
are fair and impartial.[Footnote 3] As requested, my statement also
describes TSA's recent efforts to make the screening process more risk-
based and selective through use of TSA's Pre[check]™ program.
For our November 2012 report, we obtained and analyzed air passenger
screening complaint data from October 2009 through June 2012 from four
TSA headquarters units.[Footnote 4] In addition, we obtained and
analyzed air passenger screening complaint data from April 2011
through June 2012 from a database TSA uses to document screening
complaints collected through TSA's Talk to TSA web-based
portal.[Footnote 5] On the basis of information from and discussions
with TSA officials related to the controls in place to maintain the
integrity of TSA's complaint data, we determined that the data from
each database were sufficiently reliable for our purposes. We also
reviewed TSA documentation and interviewed TSA officials from
headquarters offices and 6 airports selected for the type of security
and screening equipment used, among other things. The airport
interviews are not generalizable, but provide insights. Additional
details on the scope and methodology, including our assessment of data
reliability, can be found within that report. To obtain information
about TSA's Pre[check]™ program, we analyzed TSA program
documentation, interviewed TSA officials, and reviewed TSA's website
information in November 2012. We discussed this information with TSA
officials and incorporated their technical comments as appropriate. We
conducted all of this work in accordance with generally accepted
government auditing standards. Those standards require that we plan
and perform the audit to obtain sufficient, appropriate evidence to
provide a reasonable basis for our findings and conclusions based on
our audit objectives. We believe that the evidence obtained provides a
reasonable basis for our findings based on our audit objectives.
In summary, TSA receives thousands of air passenger screening
complaints through five central mechanisms, but does not have an
agencywide policy, consistent processes, or a focal point to guide
receipt and use of such information. Also, while the agency has
several methods to inform passengers about its complaint processes, it
does not have an agencywide policy or mechanism to ensure consistent
use of these methods among commercial airports. In addition, TSA's
complaint resolution processes do not fully conform to standards of
independence to ensure that these processes are fair, impartial, and
credible, but the agency is taking steps to improve independence. To
address these issues, we made four recommendations to TSA with which
the agency concurred, and it indicated actions it is taking in
response. Finally, TSA officials stated that the agency is undertaking
efforts to focus its resources and improve the passenger experience at
security checkpoints by applying new intelligence-driven, risk-based
screening procedures, including expanding its Pre[check]™ program. TSA
plans to have this program in place at 35 airports by the end of the
calendar year and estimates that it has screened more than 4 million
passengers to date through this program.
Lack of an Agencywide Policy, Consistent Processes, and Agency Focal
Point Limits TSA's Ability to Receive and Use Complaint Information:
TSA receives thousands of air passenger screening complaints through
five centralized mechanisms but does not have an agencywide policy,
consistent processes, or an agency focal point to guide the receipt of
these complaints, or "mine" these data to inform management about the
nature and extent of the screening complaints to help improve
screening operations and customer service.[Footnote 6] For example,
TSA data indicate the following:
* From October 2009 through June 2012, TSA received more than 39,000
screening complaints through its TSA Contact Center (TCC), including
more than 17,000 complaints about pat-down procedures.[Footnote 7]
* From October 2009 through June 2012, TSA's Office of the Executive
Secretariat received approximately 4,000 complaints that air
passengers submitted by mail.
* From April 2011 (when it was launched) through June 2012, the
agency's Talk to TSA web-based mechanism received approximately 4,500
air passenger screening complaints, including 1,512 complaints about
the professionalism of TSA staff during the screening process.
[Footnote 8]
However, the data from the five centralized mechanisms do not reflect
the full nature and extent of complaints because local TSA staff have
discretion in implementing TSA's complaint processes, including how
they receive and document complaints. For example, comment cards were
used in varying ways at 6 airports we contacted.[Footnote 9]
Specifically, customer comment cards were not used at 2 of these
airports, were on display at 2 airports, and were available upon
request at the remaining 2 airports we contacted. TSA does not have a
policy requiring that complaints submitted using the cards be tracked
or reported centrally.
We concluded that a consistent policy to guide all TSA efforts to
receive and document complaints would improve TSA's oversight of these
activities and help ensure consistent implementation. TSA also uses
TCC data to inform the public about air passenger screening
complaints, monitor operational effectiveness of airport security
checkpoints, and make changes as needed. However, TSA does not use
data from its other four mechanisms, in part because the complaint
categories differ, making data consolidation difficult. A process to
systematically collect information from all mechanisms, including
standard complaint categories, would better enable TSA to improve
operations and customer service. Further, at the time of our review,
TSA had not designated a focal point for coordinating agencywide
policy and processes related to receiving, tracking, documenting,
reporting, and acting on screening complaints. Without a focal point
at TSA headquarters, the agency does not have a centralized entity to
guide and coordinate these processes, or to suggest any additional
refinements to the system.
To address these weaknesses, we recommended that TSA:
* establish a consistent policy to guide agencywide efforts for
receiving, tracking, and reporting air passenger screening complaints;
* establish a process to systematically compile and analyze
information on air passenger screening complaints from all complaint
mechanisms; and:
* designate a focal point to develop and coordinate agencywide policy
on screening complaint processes, guide the analysis and use of the
agency's screening complaint data, and inform the public about the
nature and extent of screening complaints.
The Department of Homeland Security (DHS) concurred with the
recommendations and indicated actions that TSA had taken, had
underway, and was planning to take in response. For example, DHS
stated that TSA would review current intake and processing procedures
at headquarters and in the field and develop policy, as appropriate,
to better guide the complaint receipt, tracking, and reporting
processes. We believe that these are beneficial steps that would
address the recommendation, provided that the resulting policy
refinements improve the existing processes for receiving, tracking,
and reporting all air passenger screening complaints, including the
screening complaints that air passengers submit locally at airports
through comment cards or in person at security checkpoints.
In commenting on a draft of our November 2012 report, TSA also stated
that the agency began channeling information from the Talk to TSA
database to the TCC in October 2012. However, DHS did not specify in
its letter whether TSA will compile and analyze data from the Talk to
TSA database and its other centralized mechanisms in its efforts to
inform the public about the nature and extent of screening complaints,
and whether these efforts will include data on screening complaints
submitted locally at airports through customer comment cards or in
person at airport security checkpoints. DHS also did not provide
sufficient detail for us to assess whether TSA's planned actions will
address the difficulties we identified in collecting standardized
screening data across different complaint categories and mechanisms.
DHS stated that the Assistant Administrator for the Office of Civil
Rights & Liberties, Ombudsman and Traveler Engagement was now the
focal point for overseeing the key TSA entities involved with
processing passenger screening complaints. It will be important for
the Assistant Administrator to work closely with, among others, the
office of the Assistant Administrator of Security Operations because
this office oversees screening operations at commercial airports and
security operations staff in the field who receive screening
complaints submitted through customer comment cards or in person at
airport security checkpoints. We will continue to monitor TSA's
progress in implementing these recommendations.
TSA Has Several Methods to Inform Air Passengers about Making
Screening Complaints, but Does Not Consistently Implement Them:
TSA has several methods to inform passengers about its complaint
processes, but does not have an agencywide policy or mechanism to
ensure consistent use of these methods among commercial airports. For
example, TSA has developed standard signs, stickers, and customer
comment cards that can be used at airport checkpoints to inform
passengers about how to submit feedback to TSA; however, we found
inconsistent use at the 6 airports we contacted.
For example, customer comment cards were displayed in the checkpoints
at 2 airports, while at 2 others the cards were provided upon request.
However, we found that passengers may be reluctant to ask for such
cards, according to TSA. TSA officials at 4 of the 6 airports also
said that the agency could do more to share best practices for
informing passengers about complaint processes. For example, TSA holds
periodic conference calls for its Customer Support Managers--TSA staff
at certain commercial airports who work in conjunction with other
local TSA staff to resolve customer complaints and communicate the
status and resolution of complaints to air passengers--to discuss
customer service. However, Customer Support Managers have not used
this mechanism to discuss best practices for informing air passengers
about processes for submitting complaints, according to the officials
we interviewed. Policies for informing the public about complaint
processes and mechanisms for sharing best practices among local TSA
officials could help provide TSA reasonable assurance that these
activities are being conducted consistently and help local TSA
officials learn from one another about what practices work well.
We recommended that TSA establish an agencywide policy to guide its
efforts to inform air passengers about the screening complaint
processes and establish mechanisms, particularly at the airport level,
to share information on best practices for informing air passengers
about the screening complaint processes. DHS concurred with the
recommendation and stated that TSA would develop a policy to better
inform air passengers about the screening complaint processes. We will
continue to monitor TSA's progress in implementing this recommendation.
TSA's Complaint Resolution Processes Do Not Fully Conform to Standards
of Independence, but TSA Is Taking Steps to Increase Independence:
TSA's complaint resolution processes do not fully conform to standards
of independence to ensure that these processes are fair, impartial,
and credible, but the agency is taking steps to improve independence.
Specifically, TSA airport officials responsible for resolving air
passenger complaints are generally in the same chain of command as TSA
airport staff who are the subjects of the complaints. While TSA has an
Ombudsman Division that could help ensure greater independence in the
complaint processes, the division primarily focuses on handling
internal personnel matters and is not yet fully equipped to address
external complaints from air passengers, according to the head of the
division.
TSA is developing a new process for referring air passenger complaints
directly to the Ombudsman Division from airports and for providing air
passengers an independent avenue to make complaints about airport
security checkpoint screening. In August 2012, TSA's Ombudsman
Division began addressing a small number of air passenger complaints
forwarded from the TCC, according to the head of that division. TSA
also began advertising the division's new role in addressing passenger
screening complaints via the TSA website in October 2012. According to
the Assistant Administrator of TSA's Office of Civil Rights &
Liberties, Ombudsman and Traveler Engagement, the division will not
handle complaints for which there exists an established process that
includes an appeals function, such as disability complaints or other
civil rights or civil liberties complaints, in order to avoid
duplication of currently established processes. According to the
Assistant Administrator, the agency also plans to initiate a Passenger
Advocate Program by January 2013, in which selected TSA airport staff
will be trained to take on a collateral passenger advocate role,
respond in real time to identify and resolve traveler-related
screening complaints, and assist air passengers with medical
conditions or disabilities, among other things. It is too early to
assess the extent to which these initiatives will help mitigate
possible concerns about independence.
TSA Is Expanding Its Risk-Based Programs, Including the Pre[check]™
Program:
TSA officials stated that the agency is undertaking efforts to focus
its resources and improve the passenger experience at security
checkpoints by applying new intelligence-driven, risk-based screening
procedures and enhancing its use of technology.
One component of TSA's risk-based approach to passenger screening is
the Pre[check]™ program, which was introduced at 32 airports in 2012,
and which the agency plans to expand to 3 additional airports by the
end of the calendar year. The program allows frequent flyers of five
airlines, as well as individuals enrolled in other departmental
trusted traveler programs--where passengers are pre-vetted and deemed
trusted travelers--to be screened on an expedited basis. This program
is intended to allow TSA to focus its resources on high-risk
travelers. According to TSA, more than 4 million passengers have been
screened through this program to date. Agency officials have reported
that with the deployment of this program and other risk-based security
initiatives, such as modifying screening procedures for passengers 75
and over and active duty service members, TSA has achieved its stated
goal of doubling the number of passengers going through expedited
screening. According to TSA, as of the end of fiscal year 2012, over 7
percent of daily passengers were eligible for expedited screening
based on low risk. However, the estimated number of passengers that
will be screened on an expedited basis is still a relatively small
percentage of air passengers subject to TSA screening protocols each
year. We plan to begin an assessment of TSA's progress in implementing
the TSA Pre[check]™ program in 2013.[Footnote 10]
Chairman Petri, Ranking Member Costello, and Members of the
Subcommittee, this concludes my prepared remarks. I look forward to
responding to any questions that you may have.
GAO Contact and Staff Acknowledgments:
For questions about this statement, please contact Steve Lord at (202)
512-4379 or lords@gao.gov. Contact points for our Offices of
Congressional Relations and Public Affairs may be found on the last
page of this statement. Individuals making key contributions to this
statement include Jessica Lucas-Judy (Assistant Director), David
Alexander, Thomas Lombardi, Anthony Pordes, and Juan Tapia-Videla.
[End of section]
Footnotes:
[1] GAO, Air Passenger Screening: Transportation Security
Administration Could Improve Complaint Processes, [hyperlink,
http://www.gao.gov/products/GAO-13-43] (Washington, D.C.: Nov. 15,
2012).
[2] The December 2009 terrorist attempt to detonate an explosive
device during an international flight bound for Detroit prompted TSA
to implement changes to air passenger screening, including
accelerating the nationwide deployment of Advanced Imaging Technology
(body scanners) and introducing enhanced pat-down procedures in
October 2010 to screen air passengers who, for example, opt out of
Advanced Imaging Technology-based screening.
[3] [hyperlink, http://www.gao.gov/products/GAO-13-43].
[4] The TSA units are the TSA Contact Center, the Office of the
Executive Secretariat, the Disability Branch, and the Multicultural
Branch. We selected October 2009 as the starting point because it was
the first month of the fiscal year that included the December 2009
terrorist attempt to detonate an explosive device during an
international flight bound for Detroit, which prompted TSA to
implement changes to its air passenger screening operations.
[5] This database became operational in April 2011, according to TSA
officials.
[6] TSA's five centralized mechanisms include TSA's Contact Center,
Office of the Executive Secretariat, Disability Branch, Multicultural
Branch, and Talk to TSA web-based mechanism.
[7] The TCC receives, documents, and helps resolve screening
complaints that air passengers make by telephone or e-mail. The TCC is
TSA's primary point of contact for collecting, documenting, and
responding to public questions, concerns, or complaints regarding,
among other things, TSA security policies, procedures, and programs.
[8] For further information on the complaint data from TSA's five
centralized mechanisms, see [hyperlink,
http://www.gao.gov/products/GAO-13-43].
[9] We visited 4 of the 6 airports that we contacted.
[10] This work is at the request of the Chairmen of the Subcommittees
on Transportation Security and Oversight, Investigations, and
Management of the Committee on Homeland Security, House of
Representatives.
[End of section]
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